DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Michael Jerome Sinclair
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Mike Sinclair
At current firm
3 y
since Aug 17, 2023
In the industry
41 y
since Sep 11, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Arkadios Wealth Advisors BD affiliated currentsince Aug 17, 2023 · Naples, Fl
- Triad Advisors, LLC formerDec 2, 2013 to Jul 24, 2023 · Naples, Fl
- Msi Financial Services, Inc. formerSep 11, 2012 to Dec 13, 2013 · Sarasota, Fl
- Vicus Capital, Inc. independent RIAJan 5, 2011 to Sep 10, 2012 · Naples, Fl
- Walnut Street Securities, Inc. formerMar 20, 2006 to Sep 11, 2012 · Naples, Fl
- Sinclair Financial Group unclassifiedAug 22, 1991 to Nov 28, 2011 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- Triad Advisors, LLC to Arkadios Wealth Advisorsleft Jul 24, 2023, registered Aug 17, 2023 (24 days) · Affiliated broker-dealer or bank to another
- Msi Financial Services, Inc. to Triad Advisors, LLCleft Dec 13, 2013, registered Dec 2, 2013 (-11 days) · Other
- Walnut Street Securities, Inc. to Vicus Capital, Inc.left Sep 11, 2012, registered Jan 5, 2011 (-615 days) · Other
- Vicus Capital, Inc. to Msi Financial Services, Inc.left Sep 10, 2012, registered Sep 11, 2012 (1 days) · Other
- Sinclair Financial Group to Walnut Street Securities, Inc.left Nov 28, 2011, registered Mar 20, 2006 (-2079 days) · Other
Signals
- Michael Jerome Sinclair left Triad Advisors, Llc for Arkadios Wealth Advisors (registered 2023-08-17)Jul 24, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address